Judicial Studies Board
Assessing Competence
HAZEL GENN and
GODFREY COLE describe the JSB's 'needs-based' approach to training which
draws on the competences essential to chairs and members of tribunals.
Since
the early 1990s, the JSB has been offering advice, support and training
to individual tribunals. Through the contacts made with tribunals over
the years, it has become clear that there is a great variation in the
scope, content and delivery of the training provided by different jurisdictions
to their chairs and members.
In supporting
tribunals in their training activities, the JSB has been keen to encourage
the development of training that is specifically geared to developing
the skills needed to be an effective chair or member of a tribunal.
Research
In order to provide comprehensive guidance to tribunals on the skills
which tribunals need to develop through training, the JSB carried out
a research project in early 1999. This involved research across 16 different
tribunals to identify the common roles and tasks that chairs and members
must perform in the course of their tribunal work.
The research
collected a wealth of information from tribunal chairs and members, tribunal
heads, tribunal users and sponsoring departments, using postal surveys,
group discussions and face-to-face interviews. The study was based on
the premise that it is important to distinguish skills generic to the
function of every tribunal, from those specific to individual tribunals.
Competences Central to the resulting training needs analysis (TNA) was
the identification of a series of 'core competences' and 'additional competences',
to reflect the distinction between the roles and tasks carried out by
the chair, lay, and specialist members of a tribunal. The key recommendation
followed that tribunals adopt a competence-based approach to their training,
through introductory and continuation courses, and additional courses
for those taking the chair.
Definition:
Competence
Learned
skills assessed through observation of performance OR what people
have t odo to perform well
|
Competence-based
training is therefore based on the identification of those areas of knowledge,
skill, behaviour and personal qualities required to fulfil a particular
role effectively. While competences offer systematic, objective and published
standards, a common understanding of the role of tribunal members, including
chairs, and an opportunity to develop a positive and purposeful working
relationship between colleagues. Developments in 2001 and 2002 In 2001
four workshops were held - two in London, one in Leeds and one in Leamington
Spa. The 72 participants from 22 different jurisdictions were legal and
lay chairs, professional and lay members. Their 216 discussed examples,
were recorded on prepared forms. From these records were distilled more
detailed competences.
They
were matched against schemes in use by the magistracy and under consideration
for deputy district judges. Comparisons were also made with those already
operating in tribunals, in the Appeals Service (where a chronological
approach is taken so as to review the tribunal's work from start to finish
of the proceedings) and for Rent Assessment Panels which acknowledge the
different roles of the lay and professional members. And checks for compatibility
were made against a draft of the Council on Tribunals' Framework of Standards
and the Lord Chancellor's Department's (LCD) criteria for appointment
to judicial positions.
Definition:
Performance
Indicator
Judging
performance to be of an acceptable standard by the demonstration
of a desirable, specified and observable result.
|
The resulting
scheme, now a coherent and comprehensive draft, was presented for discussion
at a seminar on 31 January 2002. In the audience were the heads and presidents
of more than 20 tribunals as well as representatives from the Council
on Tribunals and the LCD. Their many helpful comments and suggested alterations
were assimilated into a further draft that was circulated to them for
final comment and also sent to ETAC for their response.
The
scheme
There are
six 'headline' competences in the completed scheme: law and procedure,
equal treatment, communication, conduct of hearing, evidence, and decisionmaking.
Each has been sub-divided into a number of core competences, which distinguish
between those common to chairs, specialist and lay members, and those
separately specific to specialist members and to chairs. Each core competence
has one or more performance indicators. Three examples are reproduced
below.
Using
competences
It is frequently assumed that competences can only be monitored through
observation. While that is often the case it need not always be so: standards
of written decisions require no visits to the tribunal in action, nor
does time-keeping. Others, such as a proper introduction to the proceedings,
ensuring equal treatment, and weighing evidence at the hearing and in
deliberations, can only be assessed by observation. Either way, if the
JSB recommendations are adopted by jurisdictions, tribunals will see a
shift in focus of their training towards the acquisition of judicial skills
- in addition to continuing to learn about the substantive law essential
to their work.
As well
as enabling an organisation to identify its training needs, a list of
competences can also be used as the framework for a mentoring scheme,
or for an appraisal scheme, providing the skeleton for structured feedback
on strengths and weaknesses and a model for improvement.
The
future
The Lord Chancellor
approved the approach taken by the JSB towards the TNA. The Leggatt Review
of Tribunals also supported the recommendations of the TNA. Whether or
not the Government decides to proceed with Leggatt, the competences scheme
described above will progress to the Tribunals Committee and then to the
JSB Main Board for approval after which it will be circulated to all tribunal
jurisdictions as a model of good practice. The TNA also recommended that
training schemes be co-ordinated nationally to ensure that provision is
of a consistently high standard. After completing the competence scheme,
the JSB sees its next task as establishing national training standards
against which different schemes can be measured.
| C
- Communication |
To
ensure effective communication between all tribunal chairs, members
and parties. |
| COMPETENCE |
PERFORMANCE
INDICATOR |
|
Chairs, specialists
and members
1. Communicates
effectively
|
- Asks clear,
concise and relevant questions which are understood by those to
whom they are addressed.
- Makes appropriate
comments.
- Employs active
listening skills, e.g. is attentive, checks perception etc.
- Uses appropriate
body language, e.g. uses appropriate posture, gesture, facial
expression, eye contact etc.
- Regularly
checks the understanding of all participants
|
|
Specialists
2. Communicates
effectively.
|
- Provides
clear advice to members and clear explanations to parties on matters
within the specialist's areas of expertise.
|
|
Chairs
3. Communicates
effectively.
|
- Explains
any relevant legal or procedural issues to tribunal members and
the parties in language that they can understand.
- Ensures effective
communication between the tribunal and all parties appearing before
it.
- Gives decisions
using clear and concise language so that the parties understand
the findings and decisions.
- Drafts written
decisions/Statement of Reasons/Determinations which clearly and
adequately reflect the findings and decisions of the tribunal,
so that the parties understand the findings and the decision.
|
| D
- Conduct of Hearing |
To
ensure a fair and timely disposal of hearings |
| COMPETENCE |
PERFORMANCE
INDICATOR |
|
Chairs, specialists
and members
Conducts him/her
self in a manner that establishes and maintains the independence
and authority of the tribunal
|
- Recognises
and discloses any potential conflict of interest.
- Is punctual.
- Dresses appropriately.
- Recognises
and respects the needs of those appearing without representation.
- Behaves in
a measured, calm and non-confrontational manner.
|
|
Chairs
Manages the
hearing in a manner that enables proper participation by all those
present.
|
- Identifies
the members of the tribunal to the parties.
- Explains
the tribunal's procedures to all those present.
- Ensures that
each party is properly heard.
- Explains
to the parties what will happen after the hearing has ended.
|
| Manages
the hearing to facilitate a fair and timely disposal. |
- Holds any
necessary pre-hearing meeting to agree role of members, identify
issues etc.
- Maintains
an effective working relationship with staff/clerks.
- Keeps a legible
and accurate record of the proceedings.
- Identifies
areas of agreement between parties.
- Ensures that
if a party does not attend their case is fully considered, as
the rules or circumstances may allow.
- Makes fair
and effective use of adjournments while minimising delay.
- Deals with
conflicts of interest.
- Deals effectively
with inappropriate conduct of a tribunal member.
- Appropriately
deals with the behaviour of those who appear before the tribunal.
- Maintains
firm and effective control.
- Maintains
a proper balance between formality and informality.
- Ensures that
reasoned decisions are delivered within the specified time.
|
PROFESSOR
HAZEL GENN lectures in law at University College London. GODFREY COLE
is a District Chairman in the Appeals Service in the South East region.
|